Proforma for document audit for Initial Approval of a school
provider
The following proforma lists the documentation that a proposed school provider must prepare for
a period of initial approval. Evidence of policies and procedures that will ensure compliance with
the legislative requirements must be included.
The requirements for initial approval to deliver courses to overseas students for the first time are
detailed in Section 5 of the Guidelines for Approved NSW School Providers Delivering Courses
to Overseas Students (the Guidelines). If an application for initial approval is successful, the new
school provider must maintain evidence of compliance with the requirements detailed in Section
3 of the Guidelines throughout the period of initial approval.
By listing the required documentation as detailed in the Guidelines, the proforma provides a
useful checklist for a proposed school provider applying for initial approval. The proforma aims
to assist a proposed school provider in identifying the policies and procedures the school will
need to have in place to meet the requirements. Once completed, the proforma provides a
record of the location of these policies and procedures.
The proforma is intended to supplement, not replace, the Guidelines. The Guidelines provide a
full description of the requirements.
There is a separate Proforma for document audit for approval of a school provider of ELICOS for
the requirements for approval of ELICOS courses.
1
July 2014
Proforma for document audit for Initial Approval of a school provider
Proforma (initial approval)
Does the school have this documentation?
Policies, procedures, processes and other documentation required as
evidence of capacity to comply with each requirement as listed in the
Guidelines for Approved NSW School Providers Delivering Courses to
Overseas Students (the Guidelines)
Guideline
reference
Yes
No
N/A
If yes, school
document name,
location and date last
revised
Responsible
staff member
FIT AND PROPER TEST
5.1.1
 a statutory declaration by the Chief Executive Officer and/or Principal Executive
Officer of the provider declaring whether the provider, or an associate of the
provider, or a high managerial agent of a provider who has been, is, or who will
be involved in the business of delivering programs to overseas students:
- has been convicted of a criminal offence
- has been convicted of an offence under the Educational Services for
Overseas Students (ESOS) Act 2000 (the ESOS Act) at any time during the
past five years
- has ever had its CRICOS registration cancelled or suspended under the
ESOS Act
- has ever been issued with an Immigration Minister’s suspension certificate
- has ever had conditions imposed on its registration under the ESOS Act
- has been bankrupt
- has ever been disqualified from managing a corporation under the
Corporations Act 2001 (Corporations Act)
- has been involved in the business of provision of courses by another provider
covered by any of the points above
5.1.1
 a documented process for notifying the Board of Studies, Teaching and
Educational Standards (the BOSTES) immediately if a positive response is
given to any of the circumstances described in 3.1 of the Guidelines at any time
during a period of approval
2
July 2014
Proforma for document audit for Initial Approval of a school provider
Does the school have this documentation?
Policies, procedures, processes and other documentation required as
evidence of capacity to comply with each requirement as listed in the
Guidelines for Approved NSW School Providers Delivering Courses to
Overseas Students (the Guidelines)
Guideline
reference
Yes
No
N/A
If yes, school
document name,
location and date last
revised
Responsible
staff member
AUSTRALIAN RESIDENCY
 a certificate of Incorporation as a Company, certificate of Registration of
Business Name, ABN details or evidence that the legal entity of the provider is
of a kind approved by the Minister for Education to be the proprietor of a nongovernment school, or that the provider is administered by a state education
authority
5.1.2
 the address of the provider’s place of business, postal address and contact
details
5.1.2
 the names, and residency status, as appropriate of the provider or principal
executive officer for unincorporated associations or directors, owners, partners,
consortium providers, chief executives and managers (where there is no stated
position of director, principal or chief executive)
5.1.2
 contact details for all premises at which the provider is delivering courses
5.1.2
TUITION PROTECTION SERVICE
 evidence of the capacity to comply with Requirement 3.3 of the Guidelines
including an assurance that the proposed provider will pay the Tuition Protection
Service levy for each calendar year of a period of approval
5.1.3
 policies and procedures for meeting obligations with regard to student or
provider default
5.1.3
3
July 2014
Proforma for document audit for Initial Approval of a school provider
Does the school have this documentation?
Policies, procedures, processes and other documentation required as
evidence of capacity to comply with each requirement as listed in the
Guidelines for Approved NSW School Providers Delivering Courses to
Overseas Students (the Guidelines)
Guideline
reference
Yes
No
N/A
If yes, school
document name,
location and date
last revised
Responsible
staff member
IDENTIFICATION OF PERSONS REPRESENTING A PROVIDER
 provide a list of all persons (whether within or outside Australia) who will
represent or act on the provider’s behalf in dealing with overseas students or
intending overseas students
5.1.6
 have processes to maintain the list on the provider’s website
5.1.6
MARKETING INFORMATION AND PRACTICES
 proposed marketing and other materials for students which are consistent with
3.7.1 and 3.7.2 of the Guidelines that identify a place for the provider’s name
and CRICOS number should the provider be approved. The marketing
information may include the school provider’s proposed website, prospectus and
application forms
5.1.7
STUDENT ENGAGEMENT BEFORE ENROLMENT
 proposed enrolment and course structure information that are consistent with
3.8.1 of the Guidelines to be made available to students, such as:
5.1.8
- information available on the provider’s website
- a provider’s prospectus or course brochures
- student handbooks
- enrolment and application forms
- notifications to students of course offers
 procedures to assess whether the student’s qualifications, experiences and
English language proficiency are appropriate for the course for which enrolment
is sought
5.1.8
4
July 2014
Proforma for document audit for Initial Approval of a school provider
Does the school have this documentation?
Policies, procedures, processes and other documentation required as
evidence of capacity to comply with each requirement as listed in the
Guidelines for Approved NSW School Providers Delivering Courses to
Overseas Students (the Guidelines)
Guideline
reference
Yes
No
N/A
If yes, school
document name,
location and date
last revised
Responsible
staff member
FORMALISATION OF ENROLMENT
 the proposed written agreement to be signed by each enrolled student and
parent if the student is under 18 years of age identifying:
5.1.9
- the course for which the student is enrolled
- an itemised list of course money payable
5.1.9
- the length of each study period
5.1.9
- the agreed starting day for the course
5.1.9
- an itemised list of course-related fees payable
5.1.9
- the processes for claiming a refund in accordance with 3.9.1 and 3.9.2 of the
Guidelines
5.1.9
 a proposed procedure to confirm in writing and update, at least every six
months, student contact details including address, mobile number and email
address
5.1.9
 proposed processes to ensure that written agreements and/or letters of offer
comply with ESOS legislation in relation to pre-paid fees
5.1.9
 a proposed process for maintaining records, for each student enrolled during a
period of approval, in the student’s file of the written agreement with the student,
signed or otherwise accepted by that student (or the student’s parent or legal
guardian if the student is under 18 years of age) consistent with 3.9.1 and 3.9.2
of the Guidelines
5.1.9
5
July 2014
Proforma for document audit for Initial Approval of a school provider
Does the school have this documentation?
Policies, procedures, processes and other documentation required as
evidence of capacity to comply with each requirement as listed in the
Guidelines for Approved NSW School Providers Delivering Courses to
Overseas Students (the Guidelines)
Guideline
reference
Yes
No
N/A
If yes, school
document name,
location and date
last revised
Responsible
staff member
EDUCATION AGENTS
 the proposed written agreement with each agent to be engaged by the provider
which specifies:
5.1.10
- the responsibilities of the education agent and the provider and the need to
comply with the Guidelines
- processes for the provider to monitor the activities of the education agent,
including where corrective action may be required
5.1.10
- termination conditions, including providing for termination in the
circumstances outlined in Requirement 3.10.4 of the Guidelines
5.1.10
 processes for ensuring that up-to-date and accurate information will be provided
to each agent used by the proposed school provider
5.1.10
 a description of the monitoring activities to be undertaken by the proposed
school provider including a description of corrective or preventative action to be
taken by the provider if the provider reasonably suspects any agent engaged by
the provider of acting inappropriately
5.1.10
6
July 2014
Proforma for document audit for Initial Approval of a school provider
Does the school have this documentation?
Policies, procedures, processes and other documentation required as
evidence of capacity to comply with each requirement as listed in the
Guidelines for Approved NSW School Providers Delivering Courses to
Overseas Students (the Guidelines)
Guideline
reference
Yes
No
N/A
If yes, school
document name,
location and date
last revised
Responsible
staff member
YOUNGER STUDENTS
If a proposed school provider intends to enrol students under 18 years of age who
will not be living with a parent or suitable nominated relative, the proposed school
provider must have:
5.1.11
 a description of the proposed school provider’s arrangements for the
accommodation, support and general welfare arrangements of students under
the age of 18 years
 information to be provided to parents and prospective students about the
proposed provider’s approved accommodation and welfare arrangements
including a statement indicating whether or not the provider accepts
unaccompanied students under 18 years of age
5.1.11
 procedures for contacting parents for matters related to the personal safety and
social wellbeing of students
5.1.11
 documented policy and procedures that:
5.1.11
- outline the process the proposed provider will use for recommending,
monitoring, assessing and approving accommodation arrangements for
students specifying the provider’s requirements for approving the
arrangements, the process for review and the circumstances and processes
for terminating approval of the arrangements
- identify how persons/carers to be approved by the proposed school provider
for the accommodation and welfare of students will be informed of their
obligations in relation to child protection legislation
5.1.11
- identify how the approved accommodation and welfare arrangements will be
monitored by the proposed school provider in relation to child protection
legislation
5.1.11
- identify the action to be taken in the event that concerns are raised about the
accommodation or welfare of a student under 18 years of age either through
the provider’s monitoring or other credible source of information
7
July 2014
Proforma for document audit for Initial Approval of a school provider
YOUNGER STUDENTS (continued)
- identify how the provider will ensure that the approved accommodation and
living arrangements comply with relevant council requirements
5.1.11
 details of the school staff to be designated to manage the school provider’s
processes for recommending, monitoring, assessing and approving
accommodation and welfare arrangements for students
5.1.11
 proposed written agreements with other CRICOS registered providers regarding
the scope of responsibility for students planning to enrol with the other provider
following completion of the current course (if applicable)
5.1.11
 procedures to advise the Department of Immigration and Border Protection (the
DIBP) as soon as possible in the event that a student under 18 years changes
his or her living arrangements or the provider no longer approves of the
arrangements for the student using the DIBP proforma letters available through
PRISMS
5.1.11
 documented procedures to be used to check the suitability of the approved
accommodation and welfare arrangements of a student in the event that the
provider suspends or cancels the enrolment of the student for the periods
specified in 3.11.3 of the Guidelines
5.1.11
If the school provider intends to enrol students under 18 years of age who are
living with a parent or a suitable nominated relative (as defined by the DIBP
on its website), the provider must have evidence of complying with 3.11 of the
Guidelines including a policy and procedures for monitoring the living arrangements
of students living with a parent or a suitable nominated relative including
procedures for responding to concerns raised about the accommodation or welfare
of a student under 18 years of age either through the provider’s monitoring or any
other credible source of information
8
5.1.11
July 2014
Proforma for document audit for Initial Approval of a school provider
Does the school have this documentation?
Policies, procedures, processes and other documentation required as
evidence of capacity to comply with each requirement as listed in the
Guidelines for Approved NSW School Providers Delivering Courses to
Overseas Students (the Guidelines)
Guideline
reference
Yes
No
N/A
If yes, school
document name,
location and date
last revised
Responsible
staff member
STUDENT SUPPORT SERVICES
 the proposed orientation program to be conducted for students that is consistent
with the points specified in 3.12.1 of the Guidelines
5.1.12
 information about support services to be provided to students with specific
reference to
5.1.12
- the provider’s proposed student support personnel
- the services proposed to be available to assist students to meet course
requirements and maintain attendance
5.1.12
- proposed welfare-related support available at no additional cost to students
5.1.12
- the proposed school staff to be designated as the official point of contact for
students (where known)
5.1.12
- proposed mechanisms for accessing the support services
5.1.12
 proposed information to be provided to the staff who will interact directly with
students to ensure that the staff will be aware of the provider’s obligations under
the ESOS framework
5.1.12
 a critical incident policy and procedures with specific reference to the action to
be taken in the event of a critical incident, required follow-up to an incident and
records of the incident to be maintained
5.1.12
9
July 2014
Proforma for document audit for Initial Approval of a school provider
Does the school have this documentation?
Policies, procedures, processes and other documentation required as
evidence of capacity to comply with each requirement as listed in the
Guidelines for Approved NSW School Providers Delivering Courses to
Overseas Students (the Guidelines)
Guideline
reference
Yes
No
N/A
If yes, school
document name,
location and date
last revised
Responsible
staff member
TRANSFER BETWEEN REGISTERED PROVIDERS
 policies and procedures related to student transfer that support and are
consistent with the intent of 3.13.1 to 3.13.6 of the Guidelines by:
5.1.13
- describing the circumstances in which a transfer would be granted
- describing the circumstances the school provider considers as reasonable
grounds for refusing a student’s transfer request, including examples of when
a transfer could be considered detrimental to a student
5.1.13
- providing a reasonable timeframe for assessing and responding to a
student’s transfer request (generally within ten working days)
5.1.13
- having a ‘request for release’ form
5.1.13
COMPLAINTS AND APPEALS
 policies and procedures for handling complaints and appeals with processes for
internal review and independent external review that are consistent with 3.14.1
to 3.14.5 of the Guidelines
3.14
 a statement in the policies and procedures of the proposed provider’s obligation
to maintain the enrolment of a student whilst a complaint and/or appeal is
considered
3.14
 proposed access to an independent external body for the provision of dispute
resolution, and where the independent body is other than the Overseas Student
Ombudsman, a written agreement with the independent external body
3.14
10
July 2014
Proforma for document audit for Initial Approval of a school provider
Does the school have this documentation?
Policies, procedures, processes and other documentation required as
evidence of capacity to comply with each requirement as listed in the
Guidelines for Approved NSW School Providers Delivering Courses to
Overseas Students (the Guidelines)
Guideline
reference
Yes
No
N/A
If yes, school
document name,
location and date
last revised
Responsible
staff member
COURSE COMPLETION WITHIN EXPECTED DURATION OF STUDY
 policies and procedures in relation to monitoring student course completion with
specific reference to ensuring that at all times each student is in a position to
complete the course within the expected duration as specified on the student’s
Confirmation of Enrolment (CoE)
5.1.15
MONITORING COURSE PROGRESS
 policies and procedures for monitoring, recording and assessing student course
progress
5.1.16
 processes for keeping up-to-date student academic records for every unit of
study completed and assessed
5.1.16
 proposed written guidelines for determining when a student is deemed to be at
risk of failing, not completing or not yet competent in 50 percent or more of the
units attempted in any study period
5.1.16
 a proposed intervention strategy and proposed counselling for assisting
students at risk of not making satisfactory course progress
5.1.16
11
July 2014
Proforma for document audit for Initial Approval of a school provider
Does the school have this documentation?
Policies, procedures, processes and other documentation required as
evidence of capacity to comply with each requirement as listed in the
Guidelines for Approved NSW School Providers Delivering Courses to
Overseas Students (the Guidelines)
Guideline
reference
Yes
No
N/A
If yes, school
document name,
location and date
last revised
Responsible
staff member
MONITORING ATTENDANCE
 proposed attendance policies and procedures to be provided to staff and
students specifying:
5.1.17
- the requirements for achieving satisfactory attendance, which at a minimum,
requires attendance for at least 80 percent of the scheduled course hours
- the process for recording and calculating attendance and absences
5.1.17
- the process for contacting and counselling students who have been absent
for more than five consecutive days without approval or where the student is
at risk of not attending for at least 80 percent of the scheduled course
contact hours for the course in which he or she is enrolled
5.1.17
- the process for determining the point at which a student has failed to meet
satisfactory attendance
5.1.17
- the procedure for informing a student in writing of an intention to report the
student to the Commonwealth Department of Education (the DoE) through
PRISMS for not achieving satisfactory course attendance and that a student
has 20 working days in which to appeal any decision to report the student to
the DoE for unsatisfactory attendance
5.1.17
- the process for appealing a decision of the provider to report a student to the
DoE for not achieving satisfactory attendance
5.1.17
12
July 2014
Proforma for document audit for Initial Approval of a school provider
Does the school have this documentation?
Policies, procedures, processes and other documentation required as
evidence of capacity to comply with each requirement as listed in the
Guidelines for Approved NSW School Providers Delivering Courses to
Overseas Students (the Guidelines)
Guideline
reference
Yes
No
N/A
If yes, school
document name,
location and date
last revised
Responsible
staff member
COURSE CREDIT (if applicable)
 a stated policy as to whether or not the proposed provider will grant course
credit
5.1.18
Where a proposed provider intends to grant course credit, the provider must have
evidence of the capacity to comply with requirement 3.18 of the Guidelines
including:
5.1.18
 a proposed procedure for granting and recording course credit
 a proposed process to make the procedures available to staff and students
5.1.18
DEFERRING, SUSPENDING OR CANCELLING THE STUDENT’S ENROLMENT
 proposed policies and procedures for assessing, approving and recording a
deferment of the commencement of study, a suspension of study or the
cancellation of student enrolment that are consistent with the intent of 3.19 of
the Guidelines
5.1.19
 policies and procedures for informing parents of proposed students under 18
years of age of any identified risk of cancellation of student enrolment
5.1.19
 proposed written information to be given to students prior to enrolment which
states the grounds on which a student’s enrolment may be deferred, suspended
or cancelled
5.1.19
 proposed written information to be given to students which states that any
deferment, suspension or cancellation of enrolment may affect a student’s visa
5.1.19
13
July 2014
Proforma for document audit for Initial Approval of a school provider
Does the school have this documentation?
Policies, procedures, processes and other documentation required as
evidence of capacity to comply with each requirement as listed in the
Guidelines for Approved NSW School Providers Delivering Courses to
Overseas Students (the Guidelines)
Guideline
reference
Yes
No
N/A
If yes, school
document name,
location and date
last revised
Responsible
staff member
STAFF CAPABILITY, EDUCATIONAL RESOURCES AND PREMISES
 policies and procedures for the proposed staffing and educational resources
required to meet the needs of the students and the courses being delivered
5.1.20
 confirmation that the provider’s proposed teaching staff will have appropriate
qualifications and teaching experience for the courses being delivered
5.1.20
 a description of the provider’s proposed organisational structure including key
positions and responsibilities and identification of the personnel responsible for
overseas students
5.1.20
 documented processes for induction of proposed staff responsible for delivering
courses to overseas students
5.1.20
 evidence of the ownership or tenure arrangements of the provider’s proposed
premises to deliver the courses for which the proposed provider is seeking
approval
5.1.20
 proposed processes for notifying the BOSTES where there is an intention to
relocate premises at least three months in advance of implementing such a
change
5.1.20
 proposed processes for notifying any enrolled student and any accepted student
who has not commenced, of an intention to relocate premises at least 20
working days before the relocation
5.1.20
14
July 2014
Proforma for document audit for Initial Approval of a school provider
Does the school have this documentation?
Policies, procedures, processes and other documentation required as
evidence of capacity to comply with each requirement as listed in the
Guidelines for Approved NSW School Providers Delivering Courses to
Overseas Students (the Guidelines)
Guideline
reference
Yes
No
N/A
If yes, school
document name,
location and date
last revised
Responsible
staff member
CHANGES TO REGISTERED PROVIDER’S OWNERSHIP OR MANAGEMENT
 documented processes for notifying the BOSTES of changes to the provider’s
ownership as soon as possible, or, for a registered non-government school,
within seven days of the change
5.1.21
 documented processes for notifying the BOSTES of changes to the provider’s
high managerial agents as soon as practicable prior to the change taking effect
or within 10 working days of the change taking effect where the change cannot
be determined until it takes effect
5.1.21
 documented processes for obtaining information to assist the BOSTES in
assessing whether a high managerial agent of the provider satisfies the ‘fit and
proper’ test
5.1.21
15
July 2014